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L••• S•••••• S••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner33 years in industry

L••• S•••••• S••••

Advisor at S••••••• A•••• M••••••••• I••

Gunter, TX | NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:aa19d0e0-a0c8-6242-0c8d-301d42356b47

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: S••••••• A•••• M••••••••• I••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 16, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••• A•••• M••••••••• I••	Independent wealth	Oct 27, 2016	n/a	yes	NEWPORT BEACH, CA\|Gunter, TX	Current employment
C•••••• S••••• • C••• I•••	National bd RIA	Jul 8, 1997	May 25, 2004	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• S••••• • C••• I•••	S••••••• A•••• M••••••••• I••	May 25, 2004	Oct 27, 2016	4,538	Firm change after gap	Other

Relationships

Registered with (2)

→ S••••••• A•••• M••••••••• I••Registered adviserregistration: current employment
Oct 27, 2016 to presentfactForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Jul 8, 1997 to May 25, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aa19d0e0-a0c8-6242-0c8d-301d42356b47
First observed: Jul 8, 1997
Last observed: Sep 15, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.